Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Dodd-Frank Investment Advisers

SEC Charges Private Equity Sponsor for Misallocation of Expenses on Integrated Portfolio Companies

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Investment Advisers, Private Equity, Uncategorized The SEC charged a private equity sponsor with breaching its fiduciary duty to a pair of private equity funds by sharing expenses between a company in one’s portfolio and a company in the other’s portfolio in a manner that improperly benefited one fund over the other. The private equity sponsor did not admit or deny […] Read more →

by   |   September 22, 2014

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SEC Charges Investment Adviser for Misleading Performance Advertising

Investment Advisers, Uncategorized In a settled action, the SEC charged an investment adviser for false advertising and its chief compliance officer on related matters. The defendants did not admit or deny the... Read more →

by   |   September 18, 2014

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SEC Examinations of Newly Registered Private Fund Advisers Wind Down

Investment Advisers, Private Equity In testimony before Congress, SEC Chair Mary Jo White noted that she anticipates SEC staff will conclude a two-year initiative to conduct focused, risk-based exams of newly... Read more →

by   |   September 11, 2014

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SEC Cops Bust 36 for Failure to File Ownership Reports

Investment Advisers, Litigation, Public Companies and Securities The SEC charged 29 officers, directors, or major shareholders for violating federal securities laws requiring them to promptly report information about their holdings and... Read more →

by   |   September 10, 2014